THE RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE UNITED STATES GOVERNMENT PRINTING OFFICE WASHINGTON: 1962 For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington 25, D.C. REGION 1-New York, New Jersey. 225 Broadway, New York 7, N.Y. Phone, Rector 2-6363. REGION 2-Massachusetts, Connecticut, Rhode Island, Vermont, New Hampshire, Maine. Federal Building, Post Office Square, Boston 9, Mass. Phone, Capital 3-2721. REGION 3-Tennessee, North Carolina, South Carolina, Georgia, Alabama, Mississippi, Florida, and that part of Louisiana lying east of the Atchafalaya River. Suite 138, 1371 Peachtree Street, NE., Atlanta 9, Ga. Phone, Trinity 3-3714. Branch, Room 440, Plaza Bldg., 245 SE. First Street, Miami 32, Fla. Phone, Franklin 1-1651. REGION 4 Illinois, Indiana, Iowa, Kansas City (Kansas), Kentucky, Michigan, Minnesota, Missouri, Ohio, Wisconsin. Room 630, Bankers Building, 105 West Adams St., Chicago 3, Ill. Phone, Central 6–7390. Branches, Room 1628, Standard Building, 1370 Ontario Street, Cleveland 13, Ohio. Phone, Tower 1-5939. Room 1074, Federal Bldg., Detroit 26, Mich. Phone, Woodward 3–9330. Room 1027, Main Post Office and Customhouse, 180 East Kellogg Boulevard, St. Paul 1, Minn. Phone, Room 4266A, Federal Bldg., 1520 Market St., St. Louis 3, Mo. Phone, Main 1-8100. REGION 5 Oklahoma, Arkansas, Texas, that part of Louisiana lying west of the Atchafalaya River, and Kansas (except Kansas City). Room 301, United States Courthouse, Tenth and Lamar Sts., Ft. Worth 2, Texas. Phone, Edison 2-4463. REGION 6-Wyoming, Colorado, New Mexico, Nebraska, North Dakota, South Dakota, Utah. Room 802, Midland Savings Bldg., 444 17th St., Denver 2, Colorado. Phone, Keystone 4-4151. Branch, Room 1119 Newhouse Bldg., 10 Exchange Place, Salt Lake City 7, Utah. Phone, Davis 8-2911. REGION 7-California, Nevada, Arizona, Hawaii. Room 339, Pacific Bldg., 821 Market St., San Francisco 3, Calif. Phone, Yukon 6-3500. Branch, Room 309, Guaranty Bldg., 6331 Hollywood Blvd., Los Angeles 28, Calif. Phone, Hollywood 2-0701. REGION 8-Washington, Oregon, Idaho, Montana, Alaska. 9th Floor, Hoge Bldg., 701-5 Second Ave., Seattle 4, Wash. Phone, Main 2-7760. REGION 9-Pennsylvania, Maryland, Virginia, West Virginia, Delaware, District of Columbia. Room 300, Courts Bldg., 310 Sixth St., NW., Washington 25, D.C. Phone, Worth 3-3151. II PREFACE This compilation contains the General Rules and Regulations promulgated by the Securities and Exchange Commission under the Securities Exchange Act of 1934. Except for the rules under the caption "Rules of General Application", each rule relates to a particular section of the Act. For example, Rule 10a-1 relates to section 10 (a) of the Act. GENERAL RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Cited as 17 CFR 240.-) CONTENTS Subject 0-1. References to rules and regulations and to the Act, or to portions thereof___ 0-2. Business hours of the Commission.... 0-3. Filing of material with the Commission.......... 0-4. Nondisclosure of information obtained in the course of examinations and investigations.. 0-5. Reference to rule by obsolete designation............ 0-6. Disclosure detrimental to the national security.... 0-7. Consent to service of process by non-resident investment advisers_- MISCELLANEOUS EXEMPTIONS 6a-1. Form of application and amendments.... 6a-2. Annual amendments to registration statement or exemption statements of exchanges.... EXEMPTION OF CERTAIN SECURITIES FROM the OperatION OF SECTION 7 (c) (2) |